Wisconsin Human Resources Handbook

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Chapter 246

Verifying Applicant Information and Securing Applicant

Background Checks

Sec. 246.010 Introduction Sec. 246.110 Determining Background

Sec. 246.020 Statutory and Rule Authority Checks Required

Sec. 246.040 Veteran Status Sec. 246.120 Determining Who is Subject

Sec. 246.050 Disabled Expanded To Background Check

Certification Sec. 246.130 Agency Background Check

Sec. 246.060 Minority Expanded Procedures

Certification Sec. 246.140 Background Check Resources

Sec. 246.070 Special Qualifications Sec. 246.150 Administrative Information

Sec. 246.080 Enterprise Background Attachment #1 Confidentiality Agreement

Check Policy Attachment #2 FCRA Forms and Rights Sheet

Sec. 246.090 Pending Charge and Attachment #3 Background Check Approval &

Conviction Records Confidentiality and Training

Sec. 246.100 Background Check Attachment #4 Applicant Consent for

Background Check

Sec. 246.010 Introduction

Prior to making an appointment to a position, it is necessary to verify the accuracy of any information relating to the

appointee’s status such as veteran status, race/ethnicity, registration for selective service, or any other special

qualifications required of the position. The areas requiring verification are those in which the applicant self-claims

eligibility. It is more cost effective to complete the verification process between certification and hiring rather than

at the time of application. This prevents devoting resources toward verification when only a small percentage of the

applicant pool will actually be hired. Upon verification, the appointing authority may proceed with the hire if the

information claimed by the applicant is accurate. However, no further consideration may be given to a candidate

who does not meet the necessary requirements.

Agencies have a responsibility to comply with the provisions of Wisconsin’s Fair Employment Act throughout the

hiring process, including the use of an applicant’s criminal history. The Act places limitations on an employer’s use

of an applicant’s or employee’s pending charge or conviction record when making an employment decision.

Agencies have a responsibility to the public to ensure that programs are carried out in a legal, effective, safe, and

humane manner.

The purpose of this chapter is to provide guidance on verifying necessary applicant information. This chapter also

describes the enterprise policy and agency procures that should be used to conduct both criminal and non-criminal

applicant background checks. This chapter will set forth criteria agencies must follow to aid in creating or modifying

their procedures on conducting background checks as set forth in s. 111.335(1)(a), (b), and (c) and s. 230.17(3), Wis.

Stats.; and s. ER-MRS 6.10, Wis. Adm. Code.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Sec. 246.020 Statutory and Rule Authority

1. Section 230.25(1g), Wis. Stats., reads, “After certifying names under sub. (1), the director shall additionally

certify the names of the 3 highest ranked disabled veterans whose disability is at least 70 percent and the 3

highest ranked individuals each of whom is the spouse of a disabled veteran whose disability is at least 70

percent.”

2. Section 230.25.(1m), Wis. Stats., reads, “ After certifying names under sub (1), the director shall additionally

certify the names of all of the following:

(a) The 3 highest ranked veterans.

(b) The 3 highest ranked disabled veterans who are not certified under par. (a).

in action.

(d) The 3 highest ranked individuals each of whom is an unremarried spouse of a veteran who died of a

service connected disability.”

3. Section 230.25(1n)(a), Wis. Stats., reads, “After certifying names under subs. (1), (1g) and (1m), the director

may engage in expanded certification by doing one or more of the following:

1. Certifying up to 3 names of persons belonging to at least one of one or more specified racial or ethnic

groups.

2. Certifying up to 3 names of persons of a specified gender.

3. Certifying up to 3 names of persons with a disability.”

4. Section 230.15(1), Wis. Stats., states, in part, “Subject to the restriction under s. 230.143, appointments to,

and promotions in, the classified service shall be made only according to merit and fitness . . .”

5. Section ER-MRS 6.10, Wis. Adm. Code, reads in part, “In addition to provisions stated elsewhere in the law

or rules, the director may refuse to review selection criteria or certify an applicant, or may remove an

applicant from a certification:

(1) Who is found to lack any of the preliminary requirements established for the position; . . .

(3) Who has been convicted of any felony, misdemeanor or other offense the circumstances of which

substantially relate to the circumstances of the particular job or licensed activity. In considering such

conviction records, the director shall take into account such factors as age at the time of the offense,

rehabilitation, and seriousness and nature of the violation in relation to the duties and responsibilities of

the position; …

(5) Who has made a false statement of any material fact in any part of the selection process; . . .

(7) Who practices, or attempts to practice, any deception or fraud in his or her application, certification, or in

securing eligibility or appointment; . . .”

6. “Employment discrimination because of arrest record includes, but is not limited to, requesting an applicant,

employee, member, licensee or any other individual, on an application form or otherwise, to supply

information regarding any arrest record of the individual except a record of a pending charge, except that it is

not employment discrimination to request such information when employment depends on the bondability of

the individual . . .” s. 111.335(1)(a), Wis. Stats.

7. “Notwithstanding s. 111.322, it is not employment discrimination because of arrest record to refuse to employ

or license, or to suspend from employment or licensing, any individual who is subject to a pending criminal

charge if the circumstances of the charge substantially relate to the circumstances of the particular job or

licensed activity.” s. 111.335(1)(b), Wis. Stats.

8. “Notwithstanding s. 111.322, it is not employment discrimination because of conviction record to refuse to

employ or license, or to bar or terminate from employment or licensing, any individual who:

1. Has been convicted of any felony, misdemeanor or other offense the circumstances of which

substantially relate to the circumstances of the particular job or licensed activity; or

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

2. Is not bondable under a standard fidelity bond or an equivalent bond where such bondability is required

by state or federal law, administrative regulation or established business practice of the employer.”

s. 111.335(1)(c), Wis. Stats.

9. “When any position to be filled involves fiduciary responsibility, the appointing authority shall conduct a

criminal history background check before offering employment to an applicant for the position. If otherwise

permitted by law, the appointing authority may require the appointee to furnish bond or other security, and

shall notify the director of the amount and other details thereof. Any surety company authorized to do

business in this state shall be a sufficient security on any such bond.” s. 230.17(3), Wis. Stats.

10. “Notwithstanding ss. 111.321, 111.322, and 111.335, the department of transportation, with the assistance of

the department of justice, shall conduct a background investigation of any person who has been selected to fill

a position within the division of the department of transportation responsible for issuing operator’s licenses

and identification cards. [T]he department shall require, as a precondition to allowing access to any

information system in which is stored information maintained by the division of the department responsible

for issuing operator’s licenses and identification cards, that any person to whom access is granted submit to a

background investigation…[T]he department shall require the employer, including any state agency, of any

person to whom the information will be made available to conduct the background investigation in a manner

described by the department” s.110.09, Wis. Stats.

11. Section 230.143, Wis. Stats., reads, “A person who is required to register with the selective service system

under 50 USC, Appendix, sections 451 to 473, but has not registered, may not receive an original

appointment to a position in the classified service during the period that the person is required to register.”

Sec. 246.030 Definitions

The following are definitions of terms used in this Chapter.

1. Appointing authority: “ . . . [T]he chief administrative officer of an agency unless another person is

authorized to appoint subordinate staff in the agency by the constitution or statutes.” s. 230.03(4), Wis. Stats.

2. Appointment: “ . . . [T]he action of an appointing authority to place a person in a position within the agency

in accordance with the law and chs. ER 1 to 47 and ER-MRS 1 to 34 [Wis. Adm. Code], effective when the

employee reports for work or is in paid leave status on the agreed starting date and time. ‘Appointment’ does

not include an acting assignment under ch. ER-MRS 32.” s. ER-MRS 1.02(2), Wis. Adm. Code.

3. Arrest Record: “[I]ncludes, but is not limited to, information indicating that an individual has been

questioned, apprehended, taken into custody or detention, held for investigation, arrested, charged with,

indicted or tried for any felony, misdemeanor or other offense pursuant to any law enforcement or military

authority.” s. 111.32(1), Wis. Stats.

4. Background Check: An investigation into the background of an applicant.

a. Criminal Background Check: Includes pending charges or conviction record.

b. Non-Criminal Background Check: Includes but is not limited to consumer credit reports, Social Security

Number verification, Selective Service verification, licensing and professional credential verification, etc.

5. Caregiver: “A person who is, or expected to be, an employee or contractor of an entity, who is or is expected

to be under the control of an entity, as defined by the department by rule, and who has, or is expected to have,

regular, direct contact with clients of the entity.” ss. 48.685 and 50.065, Wis. Stats.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

6. Certification: A list of candidates from the register who will be moved on to any post-certification selection

process (e.g. phone interview, face to face interview, another post-cert assessment, etc.).

7. Conviction Record: “[I]ncludes, but is not limited to, information indicating that an individual has been

convicted of any felony, misdemeanor or other offense, has been adjudicated delinquent, has been less than

honorably discharged, or has been placed on probation, fined, imprisoned, placed on extended supervision or

paroled pursuant to any law enforcement or military authority.” s. 111.32(3), Wis. Stats.

8. Criminal Charge: A criminal complaint, information, or indictment filed in a state, federal, tribal or

international court of law.

9. Disabled Veteran: A veteran who has a service-connected disability.

10. Fair Credit Reporting Act (FCRA): A federal law (codified at 15 U.S.C. § 1681 et seq.) that regulates the

collection, dissemination, and use of consumer credit information.

11. Fiduciary Responsibility: Positions where, under the Fiduciary Responsibility Law (s. 230.17(3), Wis.

Stats.), the duties involve the following:

a. Handle, receipt for, or have custody of money, checks or securities, or account for supplies or other

property; authorize (or make appropriations for) expenditures; approve, certify, sign or countersign

checks, drafts, warrants, vouchers, orders or other documents providing for the paying over or delivery of

money, securities, supplies or other property, or serve process; or

b. Maintain or audit accounts of money, checks, securities, time records, supplies or other property, or take

physical inventories of money, checks, securities, supplies or other property.

Note: This definition is also used in the State Procurement Operational Questionnaire for blanket employee

bonds, also known as employee dishonesty bonds, issued by the Department of Administration.

12. Law Enforcement Officer: Any person employed by the federal or state government, or any political

subdivision of the state, including counties, cities, villages and towns, for the purpose of detecting and

preventing crime and enforcing laws or ordinances and who is authorized to make arrests for violations of the

laws or ordinances that the person is employed to enforce.

13. New Hire: Any prospective employee that is not currently a state employee, including former employees

with reinstatement eligibility. Former employees with restoration rights are not considered a new hire upon

restoration.

14. Report of Action: The response from a certified candidate regarding his/her interest in the position for

which they were certified or the action taken by the appointing authority.

15. Restoring Employee: An employee who is exercising a right of restoration as provided for in ER-MRS 16.03

or ER-MRS 30.11.

16. Selective Service Registration: The process of providing the Selective Service System with personal

information, such as name, address, date of birth, Social Security Account Number and other related

information. Men are required to register with Selective Service as soon as they reach age 18.

17. Selective Service System: An independent agency within the Executive Branch of the Federal Government.

The Director of the Selective Service is appointed by the President and confirmed by the Senate. Selective

Service is not a part of the Department of Defense. The Federal law under which the agency operates is the

Military Selective Service Act. Under this law, the mission of the Selective Service System is to provide the

numbers of men needed by the Armed Forces, within the time required, should Congress and the President

decide to return to a draft, in the event of a national emergency.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

18. Veteran: “Except as provided in s. 230.16 (7m), "veteran" means any of the following:

(a) A person who served on active duty under honorable conditions in the U.S. armed forces and who was

entitled to receive any of the following:

1. The armed forces expeditionary medal established by executive order 10877 on December 4,

1961.

2. The Vietnam service medal established by executive order 11231 on July 8, 1965.

3. The navy expeditionary medal.

4. The marine corps expeditionary medal.

(b) A person who served on active duty under honorable conditions in the U.S. armed forces in a crisis

zone, as defined in s. 45.01(11), Wis. Stats.

one day during a war period, as defined in s. 45.01 (13), Wis. Stats., or under section 1 of executive

order 10957 dated August 10, 1961.

(d) A person who served on active duty under honorable conditions in the U.S. armed forces for 2

continuous years or more or the full period of the person’s initial service obligation, whichever is less.

A person discharged from the U.S. armed forces for reasons of hardship or a service-connected

disability or a person released due to a reduction in the U.S. armed forces prior to the completion of the

required period of service shall also be considered a “veteran” regardless of the actual time served.”

s. 230.03(14), Wis. Stats.

Sec. 246.040 Veteran Status

It is necessary for agency human resources staff to verify a person’s eligibility for receiving veteran status before

making an offer of employment. Agencies are required

to perform this verification prior to making an offer of

employment. Failure to do so could result in an illegal hire.

Currently, applicants self-report their veteran status in Wisc.Jobs or by completing the Veteran Status form (DOA-

15529). (This form can be found

http://doa.wi.gov/Documents/DPM/DPM%20FORMS/DOA-

15529%20Veteran%20Status.pdf). It is the applicant’s responsibility to show proof of eligibility for veteran status

under the provisions of s. 230.03(14) and 230.25(1m), Wis. Stats. Candidates should submit their Certificate of

Release or Discharge from Active Duty, also called the DD Form 214. Other documentation used to verify

eligibility may be letters from the U.S. Departments of Defense, Army, Navy, or Air Force stating a veteran’s

eligibility for the expeditionary medal for the appropriate campaign or conflict.

Agencies should notify the veteran that their status must be verified. This notice should be given when scheduling

interviews and is usually in writing. Only those veterans certified under s. 230.25(1g) and 230.25(1m), Wis. Stats.,

require verification. It is important to give an applicant claiming veterans status a reasonable amount of time to

provide the necessary documentation proving their eligibility. However, agencies should avoid long delays in the

selection process when verifying an applicant’s veteran status.

To verify eligibility of all veterans certified, review, at a minimum, the veteran’s Certificate of Release or Discharge

from Active Duty (DD214). The DD214 should include the veteran’s service dates, which will indicate:

a. Active service during a wartime period;

b. At least two years of continuous service on active duty under honorable conditions;

c. Serving the full period of initial service obligation;

d. That the veteran was discharged or released after less than two years due to hardship; or

e. That the person was discharged due to a service connected disability or a reduction in the armed forces.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

In addition, the DD214 will identify whether the person was awarded, authorized, or entitled to the Armed Forces

Expeditionary Medal, the Vietnam Service Medal, or has authorization to wear the National Defense Service Medal.

Other documentation used to verify eligibility may be letters from the U.S. Departments of Defense, Army, Navy, or

Air Force stating a veteran’s eligibility for the expeditionary medal for the appropriate campaign or conflict.

If the applicant claims a service-connected disability, documentation must be provided that verifies the percentage

of disability. Disabled veterans receive a letter from the Federal Veterans Administration providing this letter is the

acceptable form of verification.

If an applicant cannot verify veteran status, the agency personnel must update the candidate’s applicant record in

Wisc.Jobs. In addition, provide the candidate with a removal letter stating that the information has been updated and

their name has been removed from the certification. Enter a report of action of “Not Eligible” (NE) in Wisc.Jobs to

remove the name from the list. Document the reason for the NE. Agencies may receive a replacement name, if

available. Check the applicant’s certification record for any other certifications where the individual was certified

under VET. Contact the hiring authorities to let them know that the person is ineligible to be considered under that

category.

Note: It is possible that the applicant could be eligible for certification under Basic or expanded certification, i.e.,

VET, DEC, MEC, or WEC. Entering a report of action of NE changes that applicant’s status on the register to a

status that prevents future certification regardless of the category (Basic, VET, DEC, MEC, or WEC). Extra care

should be taken to ensure that an applicant is not inactivated from the register too soon. (See Chapter 202-

Assessment Evaluation and Register Establishment of the Wisconsin Human Resources Handbook for more

information regarding certification procedures.)

Upon verification of veteran status, indicate on the Wisc.Jobs applicant record that the status has been verified. To

do this, check the “DD214 Form Verified” box under the “Vets Information” section on the Applicant Detail screen.

Sec. 246.050 Disabled Expanded Certification

Agency staff should not

verify eligibility for those applicants who are certified under the Disabled Expanded

Certification (DEC) program. A qualified professional verifies the disability and eligibility for the program prior to

BMRS entering the DEC information in Wisc.Jobs. Therefore, a person will not be certified on a certification list

until verification has taken place. The verification is valid for all positions for which the person applies for five

years after the date BMRS receives the completed Disabled Expanded Certification Verification form from a

qualified professional. (See s. ER-MRS-12.06(3), Wis. Adm. Code and Chapter 212—Certification Procedures, of

the Wisconsin Human Resources Handbook.)

Sec. 246.060 Minority Expanded Certification

The Application for State Employment form (DOA-15505; formerly OSER-DMRS-38) contains five Race/Ethnicity

categories. (See

http://www.doa.state.wi.us/Documents/DPM/BMRS/DOA-

15505%20Application%20for%20State%20Employment%20with%20Instructions.pdf

for a copy of the form.) Applicants may check as many categories as they identify with. The categories are

American Indians or Alaskan Natives, Asians or Pacific Islanders, African Americans or Blacks, Hispanics or

Latinos, and Whites defined as follows by Office of Management and Budget (OMB) Directive No. 15 (published in

Federal Register 62 FR 58782-58790

(a) “American Indians or Alaskan Natives (Not Hispanic or Latino)” mean persons having origins in any of

the original peoples of North or South America (including Central America), and who maintain tribal

affiliation or community attachment.

(b) “Asians or Pacific Islanders (Not Hispanic or Latino)” mean persons having origins in any of the original

peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands, including, for

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand and

Vietnam.

racial groups of Africa.

(d) “Hispanics or Latinos” mean persons of Mexican, Puerto Rican, Cuban, or Central American or other

Spanish culture or origin, regardless of race.

(e) “White (Not Hispanic or Latino)” mean persons having origins in any of the original peoples of Europe,

the Middle East or North Africa.

Section 230.25(1n), Wis. Stats., and s. ER-MRS-12.05, Wis. Adm. Code, indicate that up to three names of persons

belonging to at least one or more specified racial or ethnic groups can be certified for positions in which the

classification is underutilized for minorities. All positions are considered underutilized for recruitment purposes,

however, not all positions are considered underutilized for certification purposes. If expanded certification is

required for the position, Wisc.Jobs will certify from the register the three highest ranked applicants who claimed

they were something other than White (not Hispanic) and were not otherwise certified. (See Chapter 212–

Certification Procedures, of the Wisconsin Human Resources Handbook regarding Minority Expanded

Certification.)

Verification of race/ethnicity is only conducted if there is a challenge to its validity. If a challenge is made, it is

important for HR to contact their agency’s Affirmative Action Officer or DOA/DPM’s Bureau of Affirmative

Action to discuss how to proceed.

If it is determined that an applicant is not a minority, agency personnel must update the applicant record in

Wisc.Jobs to reflect the correct race/ethnic code. In addition, agency personnel must provide the candidate with a

removal letter stating that the information has been updated and their name has been removed from the certification.

Enter a report of action of “Not Eligible” (NE) in Wisc.Jobs to remove the name from the list. Document the reason

for the NE. Agencies may receive a replacement name, if available.

Note: It is possible that the applicant could be eligible for certification under Basic or expanded certification, i.e.,

VET, DEC, MEC, or WEC. Entering a report of action of NE changes that applicant’s status on the register to a

status that prevents future certification regardless of the category (Basic, VET, DEC, MEC, or WEC). Extra care

should be taken to ensure that an applicant is not inactivated from the register too soon. (See Chapter 202-

Assessment Evaluation and Register Establishment of the Wisconsin Human Resources Handbook for more

information regarding certification procedures.)

Check the applicant’s certification record for any other certifications where the individual was certified under MEC.

Contact the hiring authorities to let them know that the person is ineligible to be considered under that category.

Sec. 246.070 Special Qualifications

Agencies may require applicants to have special qualifications or requirements for a position, e.g. licensures, other

languages, skills, etc. In most cases, applicants will be asked during the competitive procedures to indicate whether

they have the necessary qualifications. This information will be added to the applicant record. The certification

request will include the necessary special qualification(s) for the position, and Wisc.Jobs will certify those

applicants with that qualification(s).

Prior to making an offer, agency staff must verify whether the applicant has the necessary qualifications. If the

applicant does not, agency personnel must update the applicant’s record in Wisc.Jobs so they will no longer be

certified with this qualification. In addition, provide the applicant with a removal letter stating that the information

has been updated and their name has been removed from the certification. Enter “Not Eligible” (NE) as the report of

action in Wisc.Jobs. Document the reason for the NE. Agencies may receive a replacement name, if available.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Note: It is possible that the applicant could be eligible for certification under Basic or expanded certification, i.e.,

VET, DEC, MEC, or WEC. Entering a report of action of NE changes that applicant’s status on the register to a

status that prevents future certification regardless of the category (Basic, VET, DEC, MEC, or WEC). Extra care

should be taken to ensure that an applicant is not inactivated from the register too soon. (See Chapter 202-

Assessment Evaluation and Register Establishment, of the Wisconsin Human Resources Handbook for more

information regarding certification procedures.)

There are several websites that provide assistance in verifying applicant education. Links to these sites may be

found on the DPM website

at:

http://www.doa.state.wi.us/Documents/DPM/Document%20Library/GuidanceForVerifyingApplicantEducation_

6715.pdf .

Sec. 246.080 Enterprise Background Check Policy

It is the policy of the State that prior to hire, a background check, which includes Selective Service Registration or

Veteran Status verification, where applicable shall be conducted on all new hires.

Selective Service: Effective February 1, 2003, eligibility for an original appointment to a position in the classified

service requires that the applicant comply with the registration requirements of the Selective Service System (SSS).

This includes first time LTE and Project appointments. Selective Service Registration is not required for

Unclassified appointments or contractors.

The Selective Service System sponsors a website at www.sss.gov

that defines who is required to register. With few

exceptions, all male United States citizens and male aliens residing in the United States and its territories must

birthday. Men cannot register after reaching age 26.

Selective Service checks should be performed before an employment offer is extended to a male who is age 18-25.

At a minimum, registration must be verified prior to the employee starting. An agency can verify registration using

the On-Line Verification System located at www.sss.gov

. Be prepared to enter the last name, Social Security

Account number, and date of birth for the registered male.

Note: A person who registers with the SSS will receive a Registration Acknowledgement Card between 30 to 90

days following registration. If that person registers using the on-line registration system, he should receive

acknowledgement in about two weeks.

If the person has not registered, do not proceed with the hire. Explain to the candidate that he must first register

before he can be appointed to a position.

If the person refuses to register, he can no longer be considered for the position. Provide the candidate with a

removal letter informing them that their name has been removed from the certification. Enter “Not Eligible” (NE)

as the report of action on the certification list. Document the reason for the NE. (See Chapter 212–Certification of

the Wisconsin Human Resources Handbook for information on entering a report of action.)

Agencies are required to develop procedures for conducting background checks that are in addition to Selective

Service Registration verification and Veteran Status verification. These types of background checks may include

criminal history (in-state and out-of-state), civil records, sex offender registries, driving history, professional license

and credential history/status, credit reports, and those required by Federal Regulation and/or Law. Agencies must

submit a copy of their final Background Check Procedures to the DOA/DPM BMRS Director for review and

approval prior to implementation. Any time changes are made to these procedures, an updated copy of the

procedures must be sent to BMRS for approval.

When the agency central office Background Check Procedures have been approved by BMRS, the agency may be

delegated authority to review the individual institution procedures for adherence to the BMRS-approved agency

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Merit Recruitment and Selection

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Revised: July 2016

central office policy without having those individual institution procedures forwarded to BMRS for approval. For

example, a certain institution may require a background check on every position at the institution because the

position(s) would have access to a vulnerable population. Under these circumstances, the agency central Human

Resources office, with delegated authority from BMRS, could approve the institution’s procedure as long as it is in

line with the BMRS approved agency procedures.

Due to the confidential nature of background checks, only a limited number of Human Resources staff in the agency

should be authorized to conduct the background checks or review the results, unless an alternate individual or

process is required for compliance with other State or Federal Regulations, Laws, or Policies. Background checks

should be conducted after certification unless otherwise approved by the BMRS Director. If agencies need to collect

background information prior to certification, approval from the BMRS Director is required prior to collecting

information. The Background Check Approval/Exception Request form is located in Attachment #3. Approved

requests can be applied to subsequent positions for the same classification that have the same justification/evidence.

Agencies are required to maintain a copy of the approved request with the completed background check.

Sec. 246.090 Pending Charge and Conviction Records

1. Agencies must comply with the Wisconsin Fair Employment Act and other applicable laws to ensure

individuals are not discriminated against due to of arrest, pending charge or conviction records. While the

Wisconsin Fair Employment Act prohibits employment discrimination because of an arrest or conviction

record, agencies may base an employment decision upon pending criminal charge and/or a conviction record

during the hiring process if

the circumstances of the offense are substantially related to the duties,

responsibilities and circumstances of the job or if the position is one for which the law prohibits the

appointment of an individual with certain convictions.

2. Pending charge and conviction record information may not be requested and required of an applicant before

the applicant has been certified for the position, unless approved by the Director. The determination to

conduct background checks will be made prior

to posting a job announcement and such announcement will

state that a background check is required.

3. Interviewers may not ask any arrest, pending charge or conviction record-related questions. If candidates

volunteer arrest, pending charge or conviction record information during the interview, interviewers should

respond that all hiring decisions are made in accordance with the law. Interviewers should avoid discussing

the candidate’s arrest, pending charge or conviction record.

4. A person may not be discriminated against based on a pending charge and/or conviction record unless there is

a substantial relationship between the circumstances of the pending charge and/or conviction and the duties

and responsibilities of the position. The purpose of the “substantial relationship test” is to assess “whether

the tendencies and inclinations to behave in a certain way in a particular context are likely to reappear later in

a related context, based on the traits revealed.” See County of Milwaukee v. LIRC. 139 Wis. 2d 805, 824,

407 N.W.2d 908 (1987). In making a determination as to whether or not a substantial relationship exists, the

following factors will be taken into consideration. (Note: Based on the specific position, there may be

additional factors that should be taken into consideration.)

The Position

1) The nature and scope of the position’s public, inmate, patient, or client contact.

2) The nature and scope of the position’s discretionary authority and degree of independence in judgment

relating to decisions or actions which affect the public, patients, inmates, or clients.

3) The extent to which acceptable job performance requires public, inmate, patient, or client trust and

confidence.

4) The amount and type of supervision received in the position.

5) The amount and type of supervision provided by the position to subordinate staff, if any.

6) The sensitive nature of the data or records maintained.

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Revised: July 2016

7) Whether the position includes fiduciary responsibilities.

8) Whether the position is one for which the Legislature has determined certain offenses to be a bar to

employment (such as caregivers).

9) The nature and scope of the position, including key access to residential facilities, key access to other

facilities, access to firearms, access to cash, access to operator’s licenses and identification cards or the

information systems in which they are stored, or access to vulnerable populations, including minor

children.

The Offense

1) Whether intent is an element of the offense.

2) Whether the elements of the offense are substantially related to the job duties.

3) Whether the circumstances of the pending charge or conviction arose out of an employment situation.

4) Whether the offense is one that under Federal or State law is a bar to employment for the specific job.

5) The statutory elements of the offense

The Person

1) The age of the person at the time of the offense.

2) The recency of the offence.

3) Whether there are patterns or reoccurrences of offenses.

4) Whether the person completed a rehabilitation program.

5) The seriousness and nature of the violation in relation to the duties and responsibilities of the position.

5. If an individual being considered for a position has a criminal conviction or pending charge that is

substantially related to the new job responsibilities, it is not employment discrimination to refuse to employ

the individual because of such pending criminal charge or conviction record (s. 111.335(1)(b) and (c), Wis.

Stats.). If an offer has already been extended or employment has commenced due to the presence of special

circumstances as described in section. 246.130 (9), Offering a Position and Appointment Letters, of this

handbook chapter, the offer should be rescinded or the appointment terminated (s. 111.335(1)(b), Wis. Stats).

Sec. 246.100 Background Check Confidentiality and Training

Information collected in connection with the background check will be treated confidentially to the extent permitted

by the Wisconsin Public Records Law and other applicable laws. The background check procedure will identify the

appropriate employee(s) to perform criminal background checks and the scope of their responsibilities. Background

check results should be reviewed by someone qualified to determine if there are any pending charges or convictions

that substantially relate to the job. A key component of this role involves keeping information confidential except

on a need-to-know basis or as required by the Public Records Law. Individuals who conduct background checks or

view the results must take part in training or have the appropriate background and experience before being

authorized to be involved. This training or experience will include review of the policies set forth in this handbook

chapter and the agency background check procedures, along with any other laws (e.g., Caregiver Law, etc.) that are

pertinent to the agency. Documentation of completion should be provided to those who have taken training. In

addition, a notation indicating the receipt of training should be maintained with the list of individuals in the agency

approved to conduct or review the background checks. Individual(s) who conduct background checks or view the

results must sign a Confidentiality Agreement (see Attachment #1). Inappropriate use may constitute a work rule

violation and may be grounds for appropriate disciplinary action. (See Work Rule #12 in Chapter 410 – Employee

Work Rules and Discipline Procedure, of the Wisconsin Human Resources Handbook).

Upon request, all agencies are required to provide copies of signed confidentiality agreements to the DOA/DPM

BMRS Director that includes the names of individuals authorized to conduct and review background checks and the

training/experience records of those individuals.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Sec. 246.110 Determining Background Checks Required

Different types of background checks and/or evaluations may be utilized in addition to Selective Service

Registration verification due to the nature of particular positions. The nature of certain positions could warrant

conducting other non-criminal background checks such as drug analyses, psychological evaluations, and credit

checks. Nothing in this policy precludes agencies from conducting position-specific checks (criminal and non-

criminal) on an as-needed basis, however, such checks must be included in the specific job announcement.

The determination to conduct additional background checks will be made prior

to posting a job announcement,

consistent with the approved agency procedures and the provisions of this handbook chapter. The employing unit or

department is responsible for notifying Human Resources that an additional background check is required in order to

include appropriate notification information in all recruitment/announcement materials. The determination of

whether to conduct the check requested will include identification of (1)

when the background checks will be

requested; (2) who will initiate the checks; (3) what checks will be needed; (4) who will conduct the checks; (5) who

will be the authority that reviews the information and makes a decision (someone qualified to determine if there are

any pending charges or convictions that substantially relate to the job); and (6) the procedures for handling and

maintaining the records.

Only those additional checks that are directly related to the duties and requirements of the position should be

included in the background check. (See section 246.090 of this handbook chapter.) Additional background checks

should be required for every permanent and every new hire (including contractors, limited term employees [LTE],

project appointments, interns, intergovernmental exchanges) when any one of the following conditions apply:

1. When employment depends on the bondability of the individual. (See s. 111.335(1)(a), Wis. Stats.)

2. If the law prohibits the appointment of an individual with a criminal conviction record to a specific

classification (e.g., the position requires the employee to possess and use a firearm). (See s. 941.29, Wis.

Stats.)

3. If the position is one in which an applicant’s potential pending charges or conviction record could

substantially relate to the circumstances of the particular job or licensed activity. (See s. 111.335(1)(b) and

(c), Wis. Stats., and section 246.120 of this handbook chapter.)

4. If the position involves fiduciary responsibility. (See s. 230.17(3), Wis. Stats.)

5. If the position involves access to operator’s licenses and identification cards or the information systems in

which they are stored. (See s.110.09, Wis. Stats.)

6. If the position is responsible for the care, safety and security of children and adults. (WI Caregiver Law)

Note: Any credit check to be conducted on any classification that does not fall under the fiduciary responsibility

requirements must be approved by the BMRS Director even if previously approved.

The sequence agencies should run checks is: Background Check after certification (unless otherwise approved by

the BMRS Director) and Selective Service Registration (before an offer is extended).

Note: Background checks conducted after certification, which are in addition to Selective Service Registration, are

generally conducted after the completion of interview but prior to an offer being extended.

Sec. 246.120 Determining Who is Subject to Background Check

1. New Hire Checks: Except as otherwise provided in this policy, prior to an offer being made, a criminal

background check shall be conducted on each new hire that meets one or more of the conditions noted above

in section 246.110. Criminal background checks may be conducted on new hires that do not meet one of the

above conditions if provisions for such checks are included in the agency’s approved background check

procedures. See the definition of “new hire” in section 246.030(13) of this handbook chapter.

2. Current and Restoring Employees: Current employees may be subject to periodic background checks as

established in the applicable background check procedures and laws. In addition, current employees may be

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

required to undergo a background check when moving to a different position or work unit. Where periodic

checks of current employees are required by law, these requirements and classifications must be identified

within the agency’s background check procedures. If an agency receives information from a creditable

source regarding a pending charge or conviction of a current employee, a background check may be

conducted. For those positions that have been identified as warranting a background check, checks will be

conducted on current or restoring employees upon movement within state service which includes but is not

limited to promotion, transfer, demotion, reinstatement, restoration, or for options exercised in lieu of layoff.

A background check is not warranted if the employee is transferring within the same employing unit to a

position with identical duties, responsibilities, and security clearances. Upon survey reallocation, no

background check will be required if the position duties remain the same. If required, background checks

should be conducted and results communicated to the transferring employee prior to him/her giving notice

that he/she is leaving the current position. If the background check uncovers a pending criminal charge or a

criminal conviction, section 246.130(7), second paragraph, applies. If a background check is performed on an

existing permanent classified employee who is a member of an affirmative action (AA) target group and an

adverse action is pending, the affirmative action officer should be consulted.

3. Contractors, LTEs, Project Appointments, Interns, Intergovernmental Exchanges: Candidates applying for or

being utilized in these positions will have a background check conducted where it is otherwise required by

law or approved institutional/agency procedure. If a background check is required on a contractor, the

contractor’s agency may conduct the background check as long as the same qualifications are being checked

as would be checked on a permanent employee and results shared with the employing agency. Absent a

background check being conducted by the contractor agency, the employer must conduct the background

check. Any position in a job category with job duties covered by the Wisconsin Caregiver Law, Fiduciary

Responsibility Law, or a similar law where a background check is required, will require a background check.

Note: If there is an existing contract for personal services, this policy must be applied at the time of renewal

of the contract.

Sec. 246.130 Agency Background Check Procedures

Agencies must develop specific procedures for the administration of background checks during their hiring process

that include the following criteria:

1. Identify Who Will Check: The background check procedure will identify the appropriate Human Resources

employee(s) (or law enforcement due to internal procedure or regulation) to perform criminal background

checks and the scope of their responsibilities. If Federal Regulation and/or Law mandates an alternate

individual or process be used to conduct a background check those directives should be followed.

Background check results must be reviewed by someone qualified to determine if there are any pending

charges or convictions that substantially relate to the job. A key component of this role involves keeping

information confidential except on a need-to-know basis or as required by the Public Records Act. See

section 246.100 of this handbook chapter for reporting requirements.

2. Notification to Human Resources of Needed Check: The employing unit or department is responsible for

notifying Human Resources what type of background check will be conducted in order to include appropriate

notification information in all recruitment/announcement materials.

3. Announcing a Vacancy: All vacancy announcements requiring background checks beyond Selective Service

verification must contain a statement informing the applicant of the required check. The following statement

(or similar) may be used for criminal checks: “Employment will require a criminal background check.”

All vacancy announcements requiring a fingerprint background check must contain the following (or similar)

statement: “Employment will require a background check which may include FBI fingerprinting.”

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

4. Conducting Criminal Background Checks: Criminal background checks will be conducted on candidates

recommended for hire, either prior to the extension of an offer of employment or as part of an offer of

employment that is contingent upon a review of the criminal background check results. Individuals should

not begin employment before a successful criminal background check is completed, except under special

circumstances (e.g., the agency needs to have individuals begin employment in order to participate in

scheduled training) as determined by the employing agency-approved background check procedures.

5. Conducting Non-Criminal Background Checks: Agencies are required to verify selective service registration

(if applicable) on all new hires. Other non-criminal checks will be conducted either prior to the extension of

an offer of employment or as part of an offer of employment that is contingent upon a review of the non-

criminal background check results. Individuals should not begin employment before a successful check is

completed, except under special circumstances (e.g., the agency needs to have individuals begin employment

in order to participate in scheduled training) as determined by the employing agency-approved background

check procedures.

Note: Selective Service Registration verification must be conducted prior to the start date but may be

conducted prior to an offer of employment.

6. Processing Background Checks: Agency procedures should address criteria for processing background

checks. Specific procedures must be included for processing checks if an applicant has worked or resided

out-of-state. Background checks will include checks of records in all jurisdictions deemed prudent. The

following process should be followed:

a. In-house Check—If the final candidate has lived only in Wisconsin and has no employment history

outside the state, the agency may conduct the check in-house by using the Wisconsin Department of

Justice (DOJ) State of Wisconsin Criminal Background Check process and the Wisconsin Sex

Offender Registry, as well as any other applicable on-line databases. In the alternative, a private,

commercial vendor may be used to conduct the background checks. A hybrid approach may be used

that involves performing a social security number trace and sex offender check through a vendor. If

the result of the social security number trace shows Wisconsin residence only, the background check

may be completed by using the DOJ and the Wisconsin Sex Offender Registry check process.

Certain positions referenced in s.110.09, Wis. Stats.—Background checks are required for certain

positions in the division of the Department of Transportation (DOT) responsible for issuing operator’s

licenses and identification cards. The DOT, with the assistance of the Department of Justice (DOJ),

shall conduct the background investigations which may include requirements for fingerprinting or

other technologies approved by law enforcement agencies. The DOJ shall submit any such

fingerprints to the Federal Bureau of Investigation for identity verification and criminal arrests and

convictions. Additionally, prior to granting personal access to any information system which stores

information maintained by the division, the DOT shall require the employer, including any state

agency, to conduct a background check in a manner described by the DOT. This may include

requirements for fingerprinting and action as described above.

b. Out-of-state Check—If the final candidate has an out-of-state employment history or has lived outside

the state, an out-of-state check must be conducted when required by law. Background checks may be

conducted at the agency’s discretion when not required by law as approved in their background check

policy. In-house checks can be conducted by utilizing information the candidate has provided

(resumé/vitae, reference check information, past employment information, etc.) and accessing

available criminal records in other states. In the alternative, a private, commercial background-check

vendor may be used. The agency is required to comply with the federal FCRA if using a private

vendor. The FCRA can be found at http://www.ftc.gov/os/statutes/fcra.htm

The standard package for out-of-state criminal background checks through a vendor should include:

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

1) Social Security Number Trace—Authenticates applicant’s information and generates a list of

addresses where the applicant has lived for the last seven years.

2) Criminal Felony/Misdemeanor by county of residence—superior and municipal court records in

any county in the United States.

3) Sex Offender Registry—sex offender search by state.

4) Additional criminal and non-criminal checks (e.g., motor vehicle) may be run when appropriate

for a specific position.

7. Making the Decision Regarding Substantial Relationship: Once the background check is completed, a

decision needs to be made based on the results. To comply with the Wisconsin Fair Employment Act, the

agency will need to determine if the “pending criminal charge” or “conviction record” is “substantially

related to the circumstances of the particular job.” The needed review includes the circumstances of the

offense (where it happened, when, etc.), compared to the circumstances of the job (where is the job typically

done, when, etc.), as well as the person (age, recency, rehabilitation, etc.). The more similar the

circumstances, the more likely a “substantial” relationship exists. When determining whether the results of a

background check are substantially job related, the criteria set forth in section 246.090 of this handbook

chapter should be followed as they relate to the job, the offense, and the person.

If the check uncovers a pending criminal charge or a criminal conviction, the reviewer will consult with legal

counsel and the affirmative action officer (if it meets AA criteria described in section 246.120(2) of this

handbook chapter) to determine whether the criminal activity is substantially related to the functions of the

position. Each applicant or current employee will be reviewed on a case-by-case basis and the information in

section 246.090 is considered in order to determine whether there is a substantial relationship between the

pending charge or conviction and the position, and whether the applicant or current employee should be

further considered for the position. A final determination will be made on whether to appoint or reject the

candidate on the basis of a criminal check.

8. Candidate Notification of Negative Background Check Results: If a private, commercial background check

vendor is used, the State and the vendor must ensure compliance with the federal FCRA, which includes a

requirement to notify the applicant if the information obtained from a credit, non-criminal or criminal

background report is the reason for the applicant not being selected for a position. Details regarding this

requirement can be found in Section 615 of the FCRA at http://www.ftc.gov/os/statutes/fcra.htm

. See

Attachment #2 of this handbook chapter for a sample FCRA Authorization Form. See Attachment #4 for

Applicant Consent For Background Check form (DOA-15506).

9. Offering a Position and Appointment Letters: Criminal background checks may be completed prior to

making an offer of employment. If a check is not completed before an offer is made, the check must be

completed prior to commencement of employment except in special cases as approved by the appointing

authority or designee. In most cases, only the applicant being offered the position will undergo a background

check, however, there may be circumstances where more than one applicant is checked. If an appointment is

offered contingent on the successful completion of a criminal background check or an employee is permitted,

upon approval of the appointing authority or designee, to commence employment pending completion of a

check, the appointment letter must contain the following (or similar) statement: “This appointment is

conditional pending the results of a background check.” Or “Following appointment you must be

successful in obtaining a security clearance to gain access to [insert area] and Federal computer

systems.”

10. Documentation: Documentation will include all background search efforts, such as phone calls, letters,

record search results, etc. A record of all background search efforts and results will be documented and

retained. Completed background checks must be recorded at a minimum in PeopleSoft. Agencies may

request approval from the BMRS Director to use an alternative system to record background checks by use of

the Background Check Request/Exception form (DOA-15507 – See Attachment #3).

11. Maintenance of Records: Records gathered as a result of a criminal background check will be securely

maintained (not in the official personnel file) and accessed only on a need-to-know basis or as required by

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

applicable law. These records should include: (a) information collected from the background check;

(b) analysis and decision whether criminal activity (if any) was substantially related to positions; and

counsel should be consulted to determine what information is covered by the State’s open record law.

When Background Check Consent forms are collected prior to hire, the information must remain in a sealed

envelope until the applicant is selected as a finalist for the position. When Background Check Consent forms

are collected but no background check is conducted, the envelopes must remain sealed and retained per

Records Disposition guidelines.

When Background checks forms are collected electronically, the information must not be reviewed and

evaluated until the applicant is selected as a finalist for the position. When Background Checks are collected

electronically but no background check is conducted, the forms should be printed and stored per the Records

Disposition guidelines or stored electronically per the Records Disposition guidelines.

Sec. 893.53, Wis. Stats., provides a six (6) year limitation for actions for injury to character or other

rights. The Wisconsin Supreme Court held that this was the appropriate statute of limitation for Federal 1983

lawsuits which could be commenced by an applicant as a result of adverse action taken because of a

background check. Hemberger v. Bitzer, 216 Wis. 2d 509 (1998). Therefore, the destruction of the records

should not occur prior to 6 ½ years from the hiring transaction for which the background check was used per

RDA HR-000017.

Sec. 246.140 Background Check Resources

1. Criminal and Civil Records: The Wisconsin Consolidated Court Automation Program (CCAP) provides

certain criminal and civil record information contained in circuit court records. CCAP can be found

at http://wcca.wicourts.gov

. Please note that the coverage of CCAP data varies from county to county, as

indicated in the Agreement on the site.

2. Registered Sex Offenders: The Wisconsin Sex Offender Registry provides certain information relating to sex

offenses for registered offenders and may include information on out-of-state convictions. The Sex Offender

Registry can be found at http://offender.doc.state.wi.us/public

. Agencies are advised to check the Registry if

an applicant has a known sex offense or if a sex offense would be substantially related to the job duties of the

position being filled. The Registry should be used only to cross-check other sources of criminal history, not

as a primary source of criminal history information. Please note that some of the information provided in the

Registry is self-reported by the offender. Agencies should notify the Registry of any information on the web

site believed to be inaccurate or incomplete by calling 877-234-0085 or sending an email

[email protected].us.

3. Driving History: A copy of an applicant’s driving history may be obtained by submitting a completed form

and fee to the Wisconsin Department of Transportation, Division of Motor Vehicles. The form can be found

at http://www.dot.wisconsin.gov/drivers/records.htm

4. Professional License and Credential History and Status: Verify the status of an applicant’s Wisconsin license

through the Wisconsin Department of Safety and Professional Services at https://app.wi.gov/licensesearch

Verify the status of professional educator licenses through the Department of Public Instruction

http://dpi.wi.gov/tepdl/license-lookup/public-search.

5. Credit Report: Prior to obtaining a consumer credit report on a specific individual, the hiring agency must

certify to the credit reporting agency that the employer: (1) has provided a clear and conspicuous disclosure

to the person who is the subject of the report; (2) has received written permission from the individual to

obtain the report; (3) will not use the information in violation of any applicable federal or state equal

employment opportunity law or regulation; and (4) will abide by the requirements of the FCRA if any adverse

action is taken wholly or partially as a result of the report. Contact a credit bureau, e.g., Equifax, Experian,

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Trans Union, etc., to perform a credit check.

Equifax (http://equifax.com

)

Experian (http://experian.com)

Trans Union (http://truecredit.com)

6. Caregiver Misconduct: Pursuant to the Wisconsin Caregiver Background Check, the Department of Health

Services’ Caregiver Misconduct Registry uses social security numbers as one identifier to prevent incorrect

matches of persons with findings of abuse or neglect of a client or misappropriation of client’s

property. https://www.dhs.wisconsin.gov/caregiver/misconduct.htm

7. Selective Service: The Selective Service System provides an online search for those individuals who have

registered for the Selective Service and provides information regarding who is required and how to

A list of those who must

https://www.sss.gov/portals/0/PDFs/WhoMustRegisterChart.pdf.

Note: The Department of Workforce Development publishes a fact sheet that includes useful information on what

an employer may do under the Wisconsin Fair Employment Act.

(http://dwd.wisconsin.gov/er/discrimination_civil_rights/publication_erd_11055_p.htm)

Sec. 246.150 Administrative Information

This chapter was published in August 1981 as Chapter 120 of the Wisconsin Personnel Manual. It was revised in

March 2004 to reflect current procedures and renumbered to Chapter 246 of the Wisconsin Human Resources

Handbook.

The chapter was updated in August 2005 to add additional explanation under the definition section for arrest record,

conviction record, and law enforcement officer. Also, the updated chapter included additional information for

agencies on topics that should be included in their criminal background check policies. Lastly, the chapter was

updated to correct an error in section 246.040(4)(d)(2). In the previous version, it stated that “No person convicted

or found guilty by reason of mental disease or defect . . .” It was corrected to say “No person convicted or found not

guilty by reason of mental disease or defect . . .”

In June 2006, the chapter was updated to include the following information:

Reference to s. 230.17 (3), Wis. Stats.

Definition of fiduciary responsibility.

The requirement for agencies to develop a policy on background checks and the information that should be included

in the policy (section 246.050 of this handbook chapter).

Guidance on who should conduct background checks and review information obtained through the background

check.

Information on the Wisconsin Caregiver Law.

Guidance on what information should be shared with applicants regarding the results of the background check.

Information on the Wisconsin Sex Offender Registry.

Confidentiality Agreement for employees involved in background checks.

Sample Applicant Consent form.

In November 2007, the chapter was renamed from Securing Applicant Arrest and Conviction Information to

Securing Applicant Background Checks and updated to provide the following information:

Further delineation of required policies and recommended procedures for agencies to incorporate into their

individual policies.

Reporting requirements.

List of classifications approved for a background check.

Sample FCRA consent form and applicant rights sheet.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Remove the Sample Applicant Consent form.

Stipulate records retention for background checks should be at least 6 ½ years.

In May 2008, clarifying language was added as a note in Sec. 246.050 that any credit checks to be conducted on any

classification that does not fall under fiduciary responsibility requirements must be pre-approved by OSER even if

the classification is already included in the agency’s approved background check policy.

Also, #2—List of Certified Titles was modified to segregate approved classifications into the following categories:

Fiduciary; Caregiver; Law Enforcement, Security & Public Safety; and Military Affairs.

In July 2008, statutory reference added to Sec 246.020(6) and additions to Attachment #2 and chapter sections

where appropriate regarding the requirement for background checks of persons in positions within the division of

the Department of Transportation responsible for issuing operator’s licenses and identification cards, as well as

persons with access to information systems containing information maintained by the division.

The classification Payroll & Benefits Officer was added to Attachment #2 in January 2009.

In December 2009, Attachment #2, the “List of Certified Titles,” was amended to include information about the new

“Background Check Approved Classifications

” spreadsheet which HR staff should consult prior to conducting

background checks.

In July 2011, the chapter was modified to discontinue use of the above-mentioned “Background Check Approved

Classifications” spreadsheet. Agencies are no longer required to send requests to OSER for review and approval to

conduct background checks on individual positions. In compliance with state background check policies, agencies

are responsible to review and approve the conduct of background checks on any positions which are not covered in

this handbook chapter and identify them within that agency’s approved background check policy. Modifications

were made to section 246.050 to reflect this policy. The list of certified titles was removed from this chapter. With

this change, OSER will no longer maintain or post an enterprise spreadsheet which listing all classifications for

which individual agencies had been approved to conduct background checks.

In July 2016, Chapter 246 underwent a review and update pursuant to changes introduced by 2015 Wisconsin Act 55

and by 2015 Wisconsin Act 150. In July 2015, the Office of State Employment Relations was eliminated and the

functions were transferred into the newly created Department of Administration, Division of Personnel

Management. This chapter was updated to reflect the changes in terminology that resulted from the organizational

restructuring. This chapter was also updated to address changes in procedural guidance and provide policy

clarification. Included were creation and replacement of attachments. Major modifications included establishing

Enterprise Policy and Agency Procedures to maintain consistency across the enterprise. All agencies are required to

conduct Social Security verification and Selective Service checks prior to hire. Previous WHRH Chapter 244 –

Verifying Applicant Information was combined with Chapter 246 – Securing Background Checks.

In July 2016 this chapter was updated to remove Social Security verification as it was determined this process would

be automated through the State’s human resources system. Agencies are not required to conduct additional,

individualized SSN verification.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #1

STATE OF WISCONSIN

DEPARTMENT OF ADMINISTRATION

DIVISION OF PERSONNEL MANAGEMENT

DOA-15502 (R05/2016)

PREVIOUSLY OSER-DMRS-235

CONFIDENTIALITY AGREEMENT

(FOR EMPLOYEES WITH ACCESS TO INFORMATION ON BACKGROUND CHECKS)

Name

Classification/Job Title

Department or Agency

Division

Bureau

Are you qualified to collect or review background check information? Initial below all that apply.

I have the appropriate background and experience to collect or review background check information.

I have been trained on collecting or reviewing background check information.

Note: The training or experience will include review of the policies and procedures set forth in Chapter 246 of the

Wisconsin Human Resources Handbook and the agency background check procedures, along with any other laws (e.g.,

Caregiver Law, etc.) that are pertinent to the agency.

I understand that in the course of conducting a criminal background check, I may have access to information including,

but not limited to, the results obtained from the criminal background check.

I understand that the information listed above, as well as other information to which I have access, is special or

confidential information that could either improve or injure the prospects or chances of persons in the recruitment process.

I agree to keep this information confidential and not to copy the materials, discuss them with anyone not specifically

authorized by the Human Resources Specialist, Manager, or Representative, or allow any unauthorized person access to

them. Failure to keep the information confidential may constitute insubordination and/or may result in a violation of a work

rule, both of which could lead to discipline up to and including termination.

By signing below, I acknowledge that failure to adhere to the requirements set forth in this statement would be a violation

both to the public trust and as a condition of my continued employment with the State of Wisconsin. I also acknowledge

that I have the appropriate background and experience or have been trained to collect or review background check

information.

Signature

Date

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #2

STATE OF WISCONSIN

DEPARTMENT OF ADMINISTRATION

DIVISION OF PERSONNEL MANAGEMENT

DOA-15537 (C07/2016)

FCRA Authorization

Consent for Procurement of Consumer Credit Report

I understand that, as a condition of my consideration for employment with Enter Company Name Here

or as a condition of

my continued employment with Enter Company Name Here, Enter Company Name Here may obtain a consumer report

that includes, but is not limited to, my creditworthiness or similar characteristics, employment and education verifications,

social security verification, criminal and civil history, personal interviews, DMV records, any other public records and any

other information bearing on my credit standing, credit capacity, character, general reputation, personal characteristics

and trustworthiness.

I hereby authorize and consent to the State of Wisconsin’s procurement of such a report. I understand that, pursuant to

the federal Fair Credit Reporting Act, the State of Wisconsin will provide me with a copy of any such report if the

information contained in such report is, in any way, to be used in making a decision regarding my fitness for employment

with the State. I further understand that such report will be made available to me prior to any such decision being made,

along with the name and address of the reporting agency that produced the report.

Signature of Application or Employee

Date

Printed Name of Applicant or Employee

(Please Print) Other names used

Address

City/State/Zip

Date of Birth

Social Security #

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #2 cont.

STATE OF WISCONSIN

DEPARTMENT OF ADMINISTRATION

DIVISION OF PERSONNEL MANAGEMENT

DOA-15538 (C07/2016)

PAGE 20

FCRA Authorization to Obtain a Consumer Credit Report and

Release of Information for Employment Purposes

Pursuant to the federal Fair Credit Reporting Act, I hereby authorize [Enter Company Name Here ] and its

designated agents and representatives to conduct a comprehensive review of my background through a consumer report

and/or an investigative consumer report to be generated for employment, promotion, reassignment or retention as an

employee. I understand the scope of the consumer report/investigative consumer report may include, but is not limited to,

the following areas: verification of Social Security number; current and previous residences; employment history,

including all personnel files; education; references; credit history and reports; criminal history, including records from any

criminal justice agency in any or all federal, state or county jurisdictions; birth records; motor vehicle records, including

traffic citations and registration; and any other public records.

I, [Enter Your Name Here ] authorize the complete release of these records or data pertaining to me which an

individual, company, firm, corporation or public agency may have. I understand that I must provide my date of birth to

adequately complete said screening and acknowledge that my date of birth will not affect any hiring decisions. I hereby

authorize and request any present or former employer, school, police department, financial institution or other persons

having personal knowledge of me to furnish [Company Name] or its designated agents with any and all information in their

possession regarding me in connection with an application of employment. I am authorizing that a photocopy of this

authorization be accepted with the same authority as the original.

I hereby release [Enter Company Name Here ] and its agents, officials, representatives or assigned agencies,

including officers, employees or related personnel, both individually and collectively, from any and all liability for damages

of whatever kind, which may at any time result to me, my heirs, family or associates because of compliance with this

authorization and request to release. You may contact me as indicated below. I understand that a copy of this

authorization may be given at any time, provided I do so in writing.

I understand that, pursuant to the federal Fair Credit Reporting Act, if any adverse action is to be taken based upon the

consumer report, a copy of the report and a summary of the consumer’s right will be provided to me.

Please Print Clearly

1. Name (Full)

2. Maiden Last Name

3. Print All Former Names

Used

(A) (B)

4. Social Security Number

- -

5. Sex

Male Female

6. Race

7. Date of Birth

- -

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #2 cont.

STATE OF WISCONSIN

DEPARTMENT OF ADMINISTRATION

DIVISION OF PERSONNEL MANAGEMENT

DOA-15538 (C07/2016)

PAGE 21

8. Telephone Number

9. Current Street Address

10. City/State/Zip

11. Driver’s License Number

State Issued

12. Name on Driver’s License

13. May we contact your

employers?

Yes No

14. May we contact your

supervisors?

Yes No

15 Prior residence for past seven (7) years

ii. From To

iii.

iv. From To

vi. From To

16. Have you ever been convicted of or pled guilty or “no contest” to a

criminal charge?

Yes No

17. Are you currently awaiting trial, sentencing or disposition of a

criminal charge?

Yes No

18. Have you even been a defendant in a civil action for intentional

tort(s)? (Intentional torts include, but are not limited to, battery,

assault, false imprisonment, defamation, fraud, conversion)?

Yes No

If you answered Yes to Numbers 16, 17 or 18, provide the Case Numbers, Date of Action, Disposition, Place of

Occurrence and Current Status Below

20 Please explain. If more space is needed, add supplemental sheets.

Signature Date

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #2 cont.

Para informacion en espanol, visite www.ftc.gov/credit o escribe a la FTC Consumer Response Center,

Room 130-A 600 Pennsylvania Ave. N.W., Washington, D.C. 20580.

A Summary of Your Rights Under the Fair Credit Reporting Act

The federal Fair Credit Reporting Act (FCRA) promotes the accuracy, fairness, and privacy of information in the files of consumer

reporting agencies. There are many types of consumer reporting agencies, including credit bureaus and specialty agencies (such as

agencies that sell information about check writing histories, medical records, and rental history records). Here is a summary of your

major rights under the FCRA. For more information, including information about additional rights, go

to www.ftc.gov/credit

or write to: Consumer Response Center, Room 130-A, Federal Trade Commission, 600 Pennsylvania

Ave. N.W., Washington, D.C. 20580.

• You must be told if information in your file has been used against you. Anyone who uses a credit report or another type

of consumer report to deny your application for credit, insurance, or employment – or to take another adverse action against

you – must tell you, and must give you the name, address, and phone number of the agency that provided the information.

• You have the right to know what is in your file. You may request and obtain all the information about you in the files of a

consumer reporting agency (your “file disclosure”). You will be required to provide proper identification, which may include

your Social Security number. In many cases, the disclosure will be free. You are entitled to a free file disclosure if:

o a person has taken adverse action against you because of information in your credit report;

o you are the victim of identify theft and place a fraud alert in your file;

o your file contains inaccurate information as a result of fraud;

o you are on public assistance;

o you are unemployed but expect to apply for employment within 60 days.

In addition, by September 2005, all consumers will be entitled to one free disclosure every 12 months upon request from each

nationwide credit bureau and from nationwide specialty consumer reporting agencies. See www.ftc.gov/credit

for additional

information.

• You have the right to ask for a credit score. Credit scores are numerical summaries of your credit-worthiness based on

information from credit bureaus. You may request a credit score from consumer reporting agencies that create scores or

distribute scores used in residential real property loans, but you will have to pay for it. In some mortgage transactions, you

will receive credit score information for free from the mortgage lender.

• You have the right to dispute incomplete or inaccurate information. If you identify information in your file that is

incomplete or inaccurate, and report it to the consumer reporting agency, the agency must investigate unless your dispute is

frivolous. See www.ftc.gov/credit

for an explanation of dispute procedures.

• Consumer reporting agencies must correct or delete inaccurate, incomplete, or unverifiable information.

Inaccurate, incomplete or unverifiable information must be removed or corrected, usually within 30 days. However, a

consumer reporting agency may continue to report information it has verified as accurate.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #2 cont.

• Consumer reporting agencies may not report outdated negative information. In most cases, a consumer reporting

agency may not report negative information that is more than seven years old, or bankruptcies that are more than 10

years old.

• Access to your file is limited. A consumer reporting agency may provide information about you only to people with a valid

need -- usually to consider an application with a creditor, insurer, employer, landlord, or other business. The FCRA specifies

those with a valid need for access.

• You must give your consent for reports to be provided to employers. A consumer reporting agency may not give out

information about you to your employer, or a potential employer, without your written consent given to the employer.

Written consent generally is not required in the trucking industry. For more information, go to www.ftc.gov/credit.

• You may limit “prescreened” offers of credit and insurance you get based on information in your credit report.

Unsolicited “prescreened” offers for credit and insurance must include a toll-free phone number you can call if you choose to

remove your name and address from the lists these offers are based on. You may opt-out with the nationwide credit bureaus

at:

o 1-888-5-OPTOUT (1-888-567-8688).

• You may seek damages from violators. If a consumer reporting agency, or, in some cases, a user of consumer reports or a

furnisher of information to a consumer reporting agency violates the FCRA, you may be able to sue in state or federal court.

• Identity theft victims and active duty military personnel have additional rights. For more information,

visit www.ftc.gov/credit.

States may enforce the FCRA, and many states have their own consumer reporting laws. In some cases, you may have

more rights under state law. For more information, contact your state or local consumer protection agency or your state

Attorney General. Federal enforcers are:

TYPE OF BUSINESS:

CONTACT:

Consumer reporting agencies, creditors and others not listed below Federal Trade Commission: Consumer Response Center - FCRA

Washington, DC 20580 1-877-382-4357

National banks, federal branches/agencies of foreign banks (word

"National" or initials "N.A." appear in or after bank's name)

Office of the Comptroller of the Currency

Compliance Management, Mail Stop 6-6

Washington, DC 20219 800-613-6743

Federal Reserve System member banks (except national banks,

and federal branches/agencies of foreign banks)

Federal Reserve Consumer Help (FRCH)

P O Box 1200

Minneapolis, MN 55480

Telephone: 888-851-1920

Website Address: www.federalreserveconsumerhelp.gov

Email Address: [email protected]

Savings associations and federally chartered savings banks (word

"Federal" or initials "F.S.B." appear in federal institution's name)

Office of Thrift Supervision

Consumer Complaints

Washington, DC 20552 800-842-6929

Federal credit unions (words "Federal Credit Union" appear in

institution's name)

National Credit Union Administration

1775 Duke Street

Alexandria, VA 22314 703-519-4600

State-chartered banks that are not members of the Federal Reserve

System

Federal Deposit Insurance Corporation

Consumer Response Center, 2345 Grand Avenue, Suite 100

Kansas City, MO 64108-2638 1-877-275-3342

Air, surface, or rail common carriers regulated by former Civil

Aeronautics Board or Interstate Commerce Commission

Department of Transportation , Office of Financial Management

Washington, DC 20590 202-366-1306

Activities subject to the Packers and Stockyards Act, 1921 Department of Agriculture

Office of Deputy Administrator – GIPSA

Washington, DC 20250 202-720-7051

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #3

STATE OF WISCONSIN

DEPARTMENT OF ADMINISTRATION

DIVISION OF PERSONNEL MANAGEMENT

DOA-15507 (C06/2016)

PREVIOUSLY OSER-DMRS236

BACKGROUND CHECK APPROVAL/EXCEPTION REQUEST

Contact Person / Phone Number

Agency / Division / Bureau

Current Classification (including working title if requesting a

credit check or to gather conviction record information):

Job Announcement Code (if requesting a credit check or

to gather conviction record information):

Date of Request

Selection Summary (Check the box below which describes the approval you are requesting)

A. Request to run a credit check. Prior to running a credit check, approval must be received by the BMRS Director.

B. Request to gather information regarding conviction records of applicants prior to certification. Gathering any type

of conviction record information prior to certification must be approved by the BMRS Director.

C. Request to track completed background checks in a system other than PeopleSoft.

Written Justification

: Provide a detailed description of the information you want to collect and the reason for collecting

this information. If requesting to gather conviction record information, provide Justification/Evidence that the conviction

record will disqualify the applicant for the position. If requesting to utilize a system other than PeopleSoft, describe the

system you will use and the reason you want to use a different system.

Note: Approved/denied request forms shall be retained at the agency for audit verification purposes.

Recommended By:

Agency HR Manager or HR Specialist Signature & Date

Approved Denied by BMRS/Division Approval Authority

BMRS/Division Approval Signature & Date

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #4

STATE OF WISCONSIN

DEPARTMENT OF ADMINISTRATION

DIVISION OF PERSONNEL MANAGEMENT

DOA-15506 (C06/2016)

APPLICANT CONSENT FOR BACKGROUND CHECK

How are you protected?

Indicating you have an arrest or conviction record does not automatically disqualify you from consideration for a job.

Wisconsin’s Fair Employment Law, s. 111.31-111.395, Wis. Stats., prohibits discrimination based on an arrest or

conviction record. It is not discrimination, however, to decline to hire a person based on the person’s arrest record, a

pending charge, or conviction record if deemed substantially related to the circumstances of the particular job. Information

gathered in the Criminal Background Check will enable us to determine if the arrest or conviction record is

substantially

related to the job.

The information you provide on this form will be retained in a confidential manner.

What do you need to do now?

Applicants are required to complete, sign and return the attached form in order to remain under consideration for this

position. [Insert agency specific instructions for example: Please complete the form, place it in a sealed envelope and

leave it with the interview coordinator or supervisor before you leave after your interview.]

Completed and signed forms may also be returned

By Fax

By E-Mail

By Mail

This form must be completed and returned within 2 business days of the date of your interview in order for you to

continue

to be considered for this position.

Definition of terms used on this form:

Arrest Record: “Includes, but is not limited to, information indicating that an individual has been questioned,

apprehended,

taken into custody or detention, held for investigation, arrested, charged with, indicted or tried

for any felony, misdemeanor

or other offense pursuant to any law enforcement or military authority.” s. 111.32(1), Wis. Stats.

Conviction Record: “Includes, but is not limited to, information indicating that an individual has been

convicted of any

felony, misdemeanor or other offense, has been adjudicated delinquent, has been less than

honorably discharged, or has

been placed on probation, fined, imprisoned, placed on extended supervision or

paroled pursuant to any law enforcement

or military authority.” s. 111.32(3), Wis. Stats.

Criminal Charge: A criminal complaint, information, or indictment filed in a state, federal, tribal or international

court of law.

Prior to completing this form, it may be beneficial to review the Wisconsin Circuit Court records pertaining to you

at http://wcca.wicourts.gov

and obtain a copy of your driver license abstract at

http://www.dot.wisconsin.gov/drivers/drivers/request-record.htm. Please remember not all fines/convictions may appear on

the Wisconsin Circuit Court site. To obtain your complete record visit http://www.doj.state.wi.us

Failure to report a fine and/or conviction may result in not being considered for this position.

Questions about this form may be directed to [Insert contact information]

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #4 cont.

APPLICANT CONSENT FOR BACKGROUND CHECK

HUMAN RESOURCES USE ONLY

Position Type: Permanent Project Limited-Term Work Study Volunteer Contractor

Position Number: Cert Number (optional): Classification Title:

Does this position have a fleet requirement? Yes No

In order to be considered for the position, for which you applied, we must complete a Criminal Background Check. As

part of the Criminal Background Check the [Insert agency name] may obtain a consumer report that includes, but is not

limited to, creditworthiness or similar characteristics, employment and education verifications, social security

verification, criminal and civil history, reference checks, DMV records, any other public records and any other

information bearing on your credit standing, credit capacity, character, general reputation, personal characteristics and

trustworthiness.

Failure to provide all requested information below, including your Social Security Number, will prevent [insert agency

name] from completing the required background check for hiring purposes, and will result in your disqualification from

the hiring process.

Name (Last, First, Middle)

Gender

Female Male

Race

Date of Birth (Month/Day/Year)

Social Security Number

Street Address

City, State, Zip Code

Email Address

Day Phone:

Evening Phone:

Former Name(s)Aliases (First, Middle, Last) (Including Maiden Name)

In the above box where it states “Human Resources Use Only” it notes if this position has a fleet requirement. If the box

is marked as Yes, please fill in the following driver’s license information. If the box is marked No, you do not need to fill

in the driver’s license information and can proceed after this section.

Driver’s License State

Driver’s License Number

Have you always lived in Wisconsin  Yes  No

If No, provide place(s) of residence (State/County) and time period(s)

Place(s) of residence outside of Wisconsin and time period(s) for the last 7 years. Attach additional pages if needed.

Wisconsin Human Resources Handbook

Ch. 246

Merit Recruitment and Selection

Issue Date: August 1981

Revised: July 2016

Attachment #4 cont.

Do you have criminal charges pending against you? Yes No

Have you been convicted of any crime anywhere, including in federal, state, local, military and tribal courts? Yes No

If you answered “Yes” to any of the above questions, please indicate: (Attach additional pages if necessary to include

the same information for each pending charge or convicted crime).

The nature of the offense

Date of the offense

Date of conviction

County and State or territory where criminal charges(s) is/are pending against you.

Name, location, address of court

Please discuss the details of the incident and the disposition/outcome (sentence, fine, probation, Huber, suspension

etc.).

Notice: By my signature below I hereby authorize and consent to the State of Wisconsin’s procurement of such a report.

This information will be retained in my application file, which is confidential. Wisconsin’s Fair Employment Law, s.

111.31-111.395, Wis. Stats., prohibits discrimination because of a criminal record or pending charge: however, it is not

discrimination to decline to hire a person based on the person’s arrest or conviction record if the arrest or conviction is

substantially related to the circumstances of the particular job. Failure of any applicant (current or potential employee)

to disclose any requested information, including but not limited to: criminal or ordinance violations, convictions, fines,

forfeitures, pending charges (including traffic and DNR charges) or expunged offenses, will make you ineligible. This

includes all adult fines and/or convictions regardless of how many years have elapsed.

I affirm that all the information on this document is true and complete to the best of my knowledge and I understand

that any falsification or omission of information will disqualify me for this position. I authorize the [insert Agency

Name] to conduct a background check and verify the information provided above and to procure a consumer credit

report if applicable.

APPLICANT SIGNATURE

DATE SIGNED

HUMAN RESOURCES USE ONLY

Processed by:

Date Processed:

Requested by:

Decision

Eligible

Not Eligible

Distribution: Original – HR File